Job Information
Capital One Services, LLC Senior Associate Risk Specialist - Commercial Bank Associate Surveillance Progra in Melville, New York
West Creek 3 (12073), United States of America, Richmond, Virginia
Senior Associate Risk Specialist - Commercial Bank Associate Surveillance ProgramSenior Associate Risk Specialists at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across multiple lines of business as well as the opportunity to create and implement innovative solutions to identify and mitigate potential risks to the Company using various compliance surveillance tools and methods. This position will work with a team of professionals to assist in the management of Capital One Commercial Bank's Associate Surveillance Program. This role will be responsible for the day to day review of alerts generated from various surveillance tools.
Responsibilities:
Familiarity with SEC, FINRA, and CFTC rules and regulations as it relates to permissible and impermissible activity.
Experience in Capital Markets and Asset Management compliance surveillance
Interface with compliance officers, business risk officers, legal, and other relevant stakeholders to review and resolve potential compliance issues
Excellent written and verbal communication skills
Proficiency with G-Suite & Microsoft Office products
Experience with electronic communication and personal trading surveillance systems
Enhance surveillance practices and procedures
Qualities Desired:
Strong analytical writing and communication skills
Proficiency with G-Suite & Microsoft Office products
Excellent Organizational and time management skills
Excellent research skills including the ability to use multiple data inputs to assess regulatory risk
Basic Qualifications:
Bachelors' Degree or military experience
At least 2 years of compliance experience
Preferred Qualifications:
At least 3 years of compliance experience in the financial services industry
At least 3 years of experience supporting, partnering and interacting with internal business clients
Ability to manage and deliver multiple priorities for different stakeholders.
FINRA Series 7 and 63
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
New York City (Hybrid On-Site): $99,500 - $113,600 for Sr. Risk AssociateCandidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
Minimum Salary: 31200.00 Maximum Salary: 31200.00 Salary Unit: Yearly